indicate an attempt to avoid transactions being detected or reported, or the client requests the securities company not to report certain transactions. Clause 21. Securities company shall establish a proper

concerning reporting of suspicious transactions, which would indicate an attempt to avoid transactions being detected or reported, or the client requests the securities company not to report certain

inquiries on internal policies and procedures concerning reporting of suspicious transactions, which would indicate an attempt to avoid transactions being detected or reported, or the client requests the

or supporter, with premeditation or gross negligence; (2) sanction already imposed on such auditor; 8 (3) impact on or damage to relevant parties such as money market, capital market, the general

of benefits from a client’s derivatives trading; (2) a person with the controlling power over a client’s derivatives trading; or (3) a financial supporter of a client for the benefit of trading or

-principal or a supporter of wrongful activities in cases such as (1) acting as an agent or channel to help foreign business operators solicit Thai investors to open trading accounts or invest in foreign

significant demeanors of persons being considered, for instance, relevant amount of money, relevant quantity of transaction, beneficiary as a result of conduct, being principal, instigator or supporter

behaviors such as the monetary amount involved, the volume of transactions involved, the person obtaining benefits, being the principal, instigator or supporter, with premeditation or gross negligence; (2

procedures; (3) engage an independent auditor to process and report the results of the actions under (1) and (2) and any deviation detected and the results of correction to the board of directors or the audit

procedures; (3) engage an independent auditor to process and report the results of the actions under (1) and (2) and any deviation detected and the results of correction to the board of directors or the audit